DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

S••••••• W••••• M••••••••• L••

Former SEC-registered adviserCRD 114270SEC 801-76570IAPD
Latest filing Mar 21, 2022
First filing on the tape Apr 16, 2012 · 20 filings
RAUM
$133M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$118M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$133M as of Mar 21, 2022
Feb 14, 2013$40.3M then
HNW client RAUM$86.6M as of Mar 21, 2022
Jan 18, 2018$50.8M then
State-registered IARs (5.B.3)1 as of Mar 21, 2022
Feb 14, 20131 then
Employees (5.A)2 as of Mar 21, 2022
Feb 14, 20132 then
Private funds: no history
RAUM +21% over the last fiscal year+18% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 21, 2022; every figure names its basis
RAUM per advisor
$133MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
238derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$176,784derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
8.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+8.7%derived
Compensation
percentage of assets, hourly, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
Custody
$121M, 276 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$86.6M65%
  • Individuals$31.4M24%
  • Pension and profit-sharing plans$10.5M7.9%
  • Corporations and businesses$4.0M3.0%
  • Charitable organizations$224,1060.2%
Individual clients
185reported
HNW clients
53reported
Pension plan clients
31reported
Charitable clients
n/areported
Accounts
751reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$121M for 276 clientsreported
Compensation
% of AUM, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • A••••••••• E•••••••• N•• · Managing Member/Chief Compliance Officercontrol
      since 01/2001 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 723 to 751
      Mar 15, 2021 to Mar 21, 2022
    • Individual clients · 166 to 185
      Mar 15, 2021 to Mar 21, 2022
    • Assets in custody · $75.9M to $121M
      Mar 15, 2021 to Mar 21, 2022
    • Discretionary RAUM · $109M to $133M
      Mar 15, 2021 to Mar 21, 2022
    • HNW RAUM · $66.4M to $86.6M
      Mar 15, 2021 to Mar 21, 2022
    • Individual RAUM · $29.3M to $31.4M
      Mar 15, 2021 to Mar 21, 2022
    • Pension RAUM · $11.1M to $10.5M
      Mar 15, 2021 to Mar 21, 2022
    • RAUM · $109M to $133M
      Mar 15, 2021 to Mar 21, 2022
    • Accounts · 734 to 723
      May 27, 2020 to Mar 15, 2021
    • Corporate clients · 5.0 to unset
      May 27, 2020 to Mar 15, 2021
    • HNW clients · 49 to 53
      May 27, 2020 to Mar 15, 2021
    • Individual clients · 154 to 166
      May 27, 2020 to Mar 15, 2021
    • Pension plan clients · 32 to 31
      May 27, 2020 to Mar 15, 2021
    • Assets in custody · $73.8M to $75.9M
      May 27, 2020 to Mar 15, 2021
    • Discretionary RAUM · $96.5M to $109M
      May 27, 2020 to Mar 15, 2021
    • HNW RAUM · $58.9M to $66.4M
      May 27, 2020 to Mar 15, 2021
    • Individual RAUM · $23.5M to $29.3M
      May 27, 2020 to Mar 15, 2021
    • Pension RAUM · $10.8M to $11.1M
      May 27, 2020 to Mar 15, 2021
    • RAUM · $96.5M to $109M
      May 27, 2020 to Mar 15, 2021
    • Accounts · 751 to 734
      Feb 15, 2019 to Jan 22, 2020
    • HNW clients · 48 to 49
      Feb 15, 2019 to Jan 22, 2020
    • Individual clients · 146 to 154
      Feb 15, 2019 to Jan 22, 2020
    • Assets in custody · $54.4M to $73.8M
      Feb 15, 2019 to Jan 22, 2020
    • Discretionary RAUM · $81.2M to $96.5M
      Feb 15, 2019 to Jan 22, 2020
    • HNW RAUM · $48.6M to $58.9M
      Feb 15, 2019 to Jan 22, 2020
    • Individual RAUM · $20.7M to $23.5M
      Feb 15, 2019 to Jan 22, 2020
    • Pension RAUM · $8.9M to $10.8M
      Feb 15, 2019 to Jan 22, 2020
    • RAUM · $81.2M to $96.5M
      Feb 15, 2019 to Jan 22, 2020
    • Accounts · 825 to 751
      Jan 18, 2018 to Feb 15, 2019
    • Corporate clients · unset to 5.0
      Jan 18, 2018 to Feb 15, 2019
    • HNW clients · 47 to 48
      Jan 18, 2018 to Feb 15, 2019
    • Individual clients · 140 to 146
      Jan 18, 2018 to Feb 15, 2019
    • Pension plan clients · 36 to 32
      Jan 18, 2018 to Feb 15, 2019
    • Assets in custody · unset to 54415742.0
      Jan 18, 2018 to Feb 15, 2019
    • Custody of client assets · false to true
      Jan 18, 2018 to Feb 15, 2019
    • Discretionary RAUM · $80.9M to $81.2M
      Jan 18, 2018 to Feb 15, 2019
    • HNW RAUM · $50.8M to $48.6M
      Jan 18, 2018 to Feb 15, 2019
    • Individual RAUM · $18.3M to $20.7M
      Jan 18, 2018 to Feb 15, 2019
    • Pension RAUM · $8.8M to $8.9M
      Jan 18, 2018 to Feb 15, 2019
    • RAUM · $80.9M to $81.2M
      Jan 18, 2018 to Feb 15, 2019
    Signals
    1 dated events
    • E••••••• N•• A••••••••• left S••••••• W••••• M••••••••• L•• for A••• W••••• M••••••••• L•• (registered 2022-04-28)
      May 2, 2022 · Advisor changed firm · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026